Type of contract

Yearly Salary (USD)

The Compliance Admin Specialist is responsible for reporting into the Head of the department, regarding all matters within Compliance, providing the team with support on interactions with regulators, paralegal/documentat work, technical and administrative support.

This AML Analytics Officer opportunity will be within the Legal and Compliance Department in New York City. They will be directly reporting to the AML Director for a global bank offering a range of global and financial services to its consumers.

My client is based in downtown Manhattan and looking for a Compliance Associate to help with multiple areas including surveillance and monitoring, compliance training, drafting regulatory filings, and documenting trade reviews.

The Consumer Compliance Officer is based in San Francisco and is responsible for supporting the National compliance program from a deposits and consumer lending background, assisting in a multitude of compliance capacities as required by the Chief Compliance Officer.

The SWAPS Compliance Officer will be based in New York, where they will be responsible for supporting three main lines of business, namely the CFTC-registered Swap Execution Facility and NFA-Registered Introducing Broker.

My client, a leading financial services company, are looking to recruit an Assistant Vice President for AML Surveillance & Optimization in Manhattan to help develop and drive initiative tat transform and modernize the capabilities and services of the compliance monitoring function.

The Swap Dealer Officer is based in New York and is responsible for contributing to the development and implementation of the overall compliance program, particularly focusing on the Global Swap Dealer Manuals and policies and procedures to ensure compliance with the relevant rules and regulations. E.g. the Dodd-Frank Act.

The KYC Analyst is responsible for generating the initial KYC profile based on onboarding documentation for the customer. This includes an initial risk rating and reviewing documentation in detail is a key priority.

The AML Investigator is responsible for handling their own caseload of investigations within the Financial Intelligence Unit, to identify suspicious activity, manage a full-scale investigation and determine whether or not to disposition to close a case, or file a SAR.

The New York-based EDD Officer is responsible for performing investigations of high risk entities and draft holistic customer risk analyses, as well as the enhacement and implementation of controls and processes.

The San Francisco-based Compliance Officer will provide primary registration and compliance advisory support for the Firm's Wealth Management and Strategic Advisory businesses, as well as to maintain the registration status of the Firm's broker-dealer.

The NY-based AML Advisory Officer is responsible for advising various lines of business on AML and Financial Crime requirements and changes in laws and regulations. Additionally, this individual will be responsible for managing legal, regulatory and audit projects within a financial crime compliance capacity.

Opportunity to gain exposure to a variety of areas within financial crime

The Compliance Analyst will be required to juggle a variety of demands and be able to effectively liaise with staff outside the team, such as Equity traders, in-house legal counsel and IT specialists as well as work effectively with colleagues in all three global business units in the financial services industry on a day-to-day basis. Additional responsibilities include the following:

The Compliance Associate will sit within the Legal & Compliance Group and will provide primary registration and compliance advisory support for the Firm's Wealth Management and Strategic Advisory businesses, as well as to maintain the registration status of the Firm's broker-dealer, within the financial services industry.

Corporate Compliance needs to review and reevaluate all policies and certain procedures and/or guidelines. This reassessment entails formal discussions with all businesses and partial reclassification and rewriting of policy documents. The resource requested will assist in redesigning policy framework and redrafting policy documents